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TREAS/OCC RIN: 1557-AB73 Publication ID: Fall 1999 
Title: ●Guidelines Establishing Year 2000 Standards for Safety and Soundness for National Bank Transfer Agents and Broker-Dealers 
Abstract: The interim guidelines establish Year 2000 standards for safety and soundness for national bank transfer agents and brokers or dealers. These guidelines describe the essential steps that national banks and, where applicable, national bank operating subsidiaries must take to ensure the Year 2000 readiness of their transfer agent and broker or dealer automated systems. 
Agency: Department of the Treasury(TREAS)  Priority: Substantive, Nonsignificant 
RIN Status: First time published in the Unified Agenda Agenda Stage of Rulemaking: Final Rule Stage 
Major: No  Unfunded Mandates: No 
CFR Citation: 12 CFR 30   
Legal Authority: 12 USC 93a    12 USC 1831p-1   
Legal Deadline:  None
Timetable:
Action Date FR Cite
Interim Final Rule  09/30/1999  64 FR 52638   
Interim Final Rule Effective  09/30/1999    
Interim Final Rule Comment Period End  11/29/1999    
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Small Entities Affected: No 
Included in the Regulatory Plan: No 
Agency Contact:
Karl Betz
Attorney
Department of the Treasury
Comptroller of the Currency
Legislative and Regulatory Activities Division, 250 E Street SW,
Washington, DC 20219
Phone:202 874-5090
Fax:202 874-4889
Email: karl.betz@occ.treas.gov